Close
Additional Broadridge resources:
View our Contact Us page for additional information.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
- The SEC press release is available here: https://www.sec.gov/newsroom/press-releases/2025-29
- Scott Statement on Meeting with Paul Atkins, Nominee to Serve as SEC Chairman: https://www.banking.senate.gov/newsroom/majority/scott-statement-on-meeting-with-paul-atkins-nominee-to-serve-as-sec-chairman
Securities and Exchange Commission Statement on the Departure of Chair Gary Gensler On January 20, 2025, the SEC announced the departure of Chair Gary Gensler. Mr. Gensler was appointed SEC chair by President Biden in 2021.
- The statement is available here:
https://www.sec.gov/newsroom/speeches-statements/departure-gensler-012025
On January 20, 2025, the White House announced Deputy Assistant Secretary for Operations Vincent Micone will serve as Acting Secretary of Labor until the position is filled by appointment. President Trump has nominated Oregon U.S. Representative Lori Chavez- DeRemer as Labor Secretary.
https://www.whitehouse.gov/presidential-actions/2025/01/designation-of-acting-leaders/
On January 23, 2025, the White House issued an Executive Order, Strengthening American Leadership in Digital Financial Technology, wherein President Trump declared, “the policy of my Administration to support the responsible growth and use of digital assets, blockchain technology, and related technologies across all sectors of the economy.”
The January 23, 2025 Executive Order is available here: https://www.whitehouse.gov/presidential-actions/2025/01/strengthening-american-leadership-in-digital-financial-technology/
On January 20, 2025, the White House issued an Executive Order that all executive departments and agencies:
The January 20, 2025 Executive Order is available here: https://www.whitehouse.gov/presidential-actions/2025/01/regulatory-freeze-pending-review/
On January 21, 2025, SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. The Task Force’s focus will be to help the Commission draw clear regulatory lines, provide realistic paths to registration, craft sensible disclosure frameworks and judiciously deploy enforcement resources. Commissioner Hester Peirce will lead the task force. Richard Gabbert, Senior Advisor to the Acting Chairman, and Taylor Asher, Senior Policy Advisor to the Acting Chairman, will serve as the task force’s Chief of Staff and Chief Policy Advisor, respectively.
On January 23, 2025, the SEC published Staff Accounting Bulletin (“SAB”) No. 122. This SAB rescinds the interpretive guidance included in Section FF of Topic 5 in the SAB Series titled, “Accounting for Obligations to Safeguard Crypto-Assets an Entity Holds for its Platform Users”.
On January 16, 2025, the SEC published ADI 2025-15 – website posting requirements. There are various website posting requirements under various SEC rules and certain exemptive orders, including those related to the use of summary prospectuses, exchange-traded funds and money market funds. These requirements acknowledge the role the internet plays in providing information to investors; the purpose of ADI 2025-15 is to remind registrants of the website disclosure obligations required when operating under these rules or exemptive orders, and to flag certain issues the staff has observed.
On January 8, 2025, the SEC published the 2025 Names Rule FAQs. These FAQs pertain to the SEC’s 2023 adoption of amendments to rule 35d-1 under the Investment Company Act of 1940.
On January 28, 2025, FINRA published its 2025 FINRA Annual Regulatory Oversight Report, which provides information to help member firms establish and enhance their compliance programs. The report covers 24 different topics; this year’s Report features updated information on the prevention of financial crime (e.g., ongoing and emerging cybersecurity threats, the increased volume and sophistication of investment fraud schemes), as well as Reg BI and Form CRS.
FINRA published the 2025 Third-Party Vendor Request, requesting all member firms provide information about their vendors and banks that are essential to the firms’ operations, processes or functions by February 25, 2025. FINRA’s Third-Party Vendor Request webinar, held on January 28, 2025, provided an overview of the request, including why FINRA is requesting this information and how the requested data will be used; the second webinar, to be held on February 10, 2025, will review frequently asked questions.
As of January 1, 2025, the Historical CAT Cost Recovery Assessment 1 and Prospective CAT Cost Recovery Fee 2024-1 are no longer in effect for transactions in eligible securities executed by FINRA member CAT executing brokers. Also beginning January 1, 2025, a new Prospective CAT Cost Recovery Fee, 2025-1, is applicable to members executing brokers' transactions.
Members and other stakeholders have until March 20, 2025 to comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule — Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) that would make substantive, organizational and terminology changes.
FINRA requested comments on its requirements related to day trading. The request is part of FINRA's retrospective rule review to assess the effectiveness and efficiency of those requirements.
Updates to FINRA’s Borrowing From or Lending to Customers Rule go into effect on April 28, 2025. “to strengthen the general prohibition against borrowing and lending arrangements between registered representatives and their customers, narrow some exceptions, modernize the “immediate family” definition and enhance the notice and approval requirements related to permissible arrangements.”
On January 14, 2025, EBSA published Field Assistance Bulletin No. 2025-01, a temporary enforcement policy under ERISA. It applies to small retirement benefit payments owed to missing participants or beneficiaries that a responsible plan fiduciary voluntarily decides to pay over to a state unclaimed property fund from an ongoing defined contribution or defined benefit pension plan.
Our representatives and specialists are ready with the solutions you need to advance your business.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |
Your sales rep submission has been received. One of our sales representatives will contact you soon.
Want to speak with a sales representative?
| Table Heading | |
|---|---|
| +1 800 353 0103 | North America |
| +442075513000 | EMEA |
| +65 6438 1144 | APAC |